HQE R

newsletter
2
3
september, 2003

LEADING ARTICLE
contents THE SECOND PHASE OF THE HQE2R METHODOLOGY:
THE SHARED DIAGNOSIS METHOD
LEADING ARTICLE - THE SECOND PHASE
OF THE HQE2R METHODOLOGY: THE SHARED
FOR SUSTAINABLE DEVELOPMENT (SD)
DIAGNOSIS METHOD FOR SUSTAINABLE
DEVELOPMENT (SD)
by Catherine CHARLOT-VALDIEU, CSTB
and Philippe OUTREQUIN, La Calade
THE NEIGHBOURHOOD ELEMENTS
ANALYSIS AND THE ANALYTICAL GRID
This method can be used for different topics:
at the first step of a Local Agenda 21 (at the city or even larger scale),
PARTICIPATION - GOVERNANCE AND for the land use plan or master plan at the city scale,
DIALOGUE - EMPOWERMENT for new areas (urban planning projects),
and for neighbourhood regeneration projects.

FROM THE SHARED DIAGNOSIS FOR SD TO
LOCAL SD OBJECTIVES, THROUGH STAKES
OR PRIORITIES FOR THE NEIGHBOURHOOD
BIBLIO NEWS AND WEB ZONE
latest news
SUSTAINABLE URBAN PLANNING
AND RENEWAL PROJECTS
AT THE NEIGHBOURHOOD SCALE
Final International HQE2R Conference
2nd-3rd February, 2004
Palais des Festivals - Cannes, France
T
he objective of the HQE²R project is to develop a new
methodology together with the necessary tools to promote
sustainable development and the quality of life at the crucial
and challenging level of urban neighbourhoods.
The HQE²R methodological framework for sustainable
neighbourhood analysis and development is structured into 4
phases: the decision, the analysis (identifying priorities), the definition,
discussion and assessment of scenarios, and finally the setting up
of an action plan for the neighbourhood.
The first Newsletter described the overall project and its concept of
sustainability at the neighbourhood scale. The 14 neighbourhoods in 7 European
countries used as case studies were also presented.
The second Newsletter dealt on the one hand with the theoretical basis of the
project -the 6 SD principles, the 5 SD objectives and their 21 targets for
sustainable neighbourhoods and buildings (with their key issues presented on
page 7)- and on the other hand with the HQE²R methodology for leading
sustainable urban planning projects.
This third Newsletter deals with the shared diagnosis method for sustainable
development (SD) (phase 2 of the HQE²R methodology illustrated below).

THE HQE²R METHODOLOGY

FOR LEADING SUSTAINABLE
URBAN PLANNING PROJECTS

PHASE 1: DECISION PHASE 2: ANALYSIS

1. Identification of 3. Inventory based on
2. Strategic decision for
problems (social, the 21 targets ; mesure
sustainable regeneration
environmental, technical) of the SD indicators
of the neighbourhood
that need actions
For more information: http://hqe2r.cstb.fr
4. Shared SD diagnosis
of the neighbourhood
(potential, dysfunction,
12. Monitoring and
Participation of residents and users cohesion)
evaluation of the project: Partnership (public / private)
monitoring indicators Local Governance

BROCHURE HQE²R N°1 5. Strategic priorities

for the neighbourhood
HQE²R: TOWARDS A METHODOLOGY 11. Neighbourhood
specifications for the
9. Urban planning
regulations
and definition of
objectives for SD
project stage
FOR SUSTAINABLE NEIGHBOURHOOD
REGENERATION 10. Buildings 8. Action plan for the 7. Assessment of 6. Generation of
specifications for call neighbourhood scenarios scenarios
for tender
Now published and on the web site
PHASE 4: ACTION PHASE 3: ASSESSMENT

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This method has been developed and detailed for neighbour-
hood regeneration projects. It aims at setting priorities (cf the
web site presenting the French Cahier HQE²R upon the
method and the Deliverable 8 upon the tests done in the
neighbourhoods during the method elaboration).
The method of the shared diagnosis for sustainable
development is represented on the scheme below.
2
This shared diagnosis method for sustainable development is
based on the one hand on the 6 SD principles, the 5 SD
objectives and the 21 SD targets with their SD key issues
described by SD indicators, and on the other hand, on the
various elements of a neighbourhood. These are gathered in an
analytical matrix.

THE HQE²R METHODOLOGY - PHASE 2:

THE SHARED SUSTAINABLE DEVELOPMENT (SD)
DIAGNOSIS METHOD FOR SETTING PRIORITIES

PHASE 2
Analysis
HQE²R HQE²R
PHASE 1
Decision Theoretical basis “Tools”

6 SD Principles 51 Key Issues

5 SD Objectives and their
SD Indicators Analytical
21 SD Targets grid
4 Neighbourhood
elements NEIGHBOURHOOD
INVENTORY
PARTICIPATION
Specific local indicators

LOCAL GOVERNANCE
SETTING PRIORITIES SHARED SD
AND LOCAL DIALOGUE
DIAGNOSIS
SD OBJECTIVES

PHASE 4 PHASE 3
Action Assessment

Source: HQE²R Project (http://hqe2r.cstb.fr)

The 6 SD principles, 5 SD objectives and theirs 21 targets have Participation and local governance are one of the main
been presented in the HQE²R Newsletter n°2. foundations of the HQE²R Project. It is a general underlying
Objectives, targets and key issues are gathered in “HQE²R sus- principle of the methodology, and thus also in this second
tainability circles” presented on the scheme on page 7. phase. The step of dialogue is a specific event of the shared
diagnosis approach. This topic of participation is developed on
The key issues and their indicators are used as a system called
page 5.
ISDIS: Issues and SD Indicators System. It helps to define
the strong and weak points of the neighbourhood. The two last steps of this method, from the shared diagnosis to
local SD objectives, are presented on page 6.
The neighbourhood inventory is done thanks to the analytical
grid which is used as a guidance framework. This step is
developed on pages 3 and 4.
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The neighbourhood analysis

elements and the analytical grid by Antonella Grossi, ICIE
and Laure Nagy, CSTB

How to characterise a neighbourhood?

T
he neighbourhood can be seen in as many
ways as activity fields exist for the subject,
starting from sociology, via urban and
regional planning and architecture to
economy. To make it even more difficult,
what is regarded as a neighbourhood may
also differ with the different actors / users
involved.
Therefore HQE²R starts with the definition of a common
subject of research. In the first instance this is defined as very
formal and physical: the subject of HQE²R first of all is a
cluster or ensemble of buildings / built urban environment
with a need for renovation aiming at the sustainability of the
built environment. This may be an urban (residential) area
framed by large roads or other (linear) structures or a more or
less homogenous ensemble of similar types of buildings etc.
("urban structural types") and might be chosen quite liberally.
Once having identified these clusters - roughly predefined by
our case-study-areas and structured along spatial elements (see
below) - we will in a second step look a little closer at how far
these "micro-urban territories" are congruent with different
possible notions of a neighbourhood (social, economic,
administrative, related to user groups etc.) and to what extent
we have to widen (or sharpen) the scope of investigation
as far as the sustainability of neighbourhood(s) is concerned.
Thus we specially take into account the perception of
"neighbourhood" as represented by different user
groups/stakeholders within these areas. This means "the
neighbourhood" may reach beyond our physical subject or our
physical subject may encompass more than one
neighbourhood.
As already introduced above, these last two points describe the
physically or rather spatially defined starting point when
approaching a neighbourhood - at that time merely a "micro-
urban territory": since HQE²R has "renovation" in its core
and "renovation" in its core is directed towards the built
environment, the elements for analysis are represented by
different built and non-built structures. Therefore the
following four categories, together with the sustainable
development objectives, define the framework for analysis and
further work.

The four neighbourhood elements

F
our elements constitute the physical
structures of the neighbourhood which NEIGHBOURHOOD ELEMENTS
must be used by residents and any other BY STRUCTURE AND USE
users. In addition to have a basically physical
character, these elements can also be NEIGHBOURHOOD STRUCTURE USE
ELEMENTS
represented on a more social scale: by
Housing stock Residents: distribution by
their use. In consequence, within the Residential space Volume status, age, profession;
HQE²R methodology, each element will be studied on these Building quality,... Energy consumption,...
two scales: the structure and the use (see the picture). Non-residential Building stock Types of use
RESIDENTIAL SPACE space
Volume Users coming from inside the
Building quality,... neighbourhood or not,...
The habitat always lies at the centre of urban refurbishment
Green spaces Use of green spaces
policies and the forms and styles of housing/dwellings are Non-built space Surfaces Cleanliness
Quality,...
often decisive in characterising a neighbourhood and pre- Safety,...
Road length
determining its development. This element includes the whole Networks
Mobility of inhabitants
Intermodal distribution
volume occupied by residential space including gardens and Infrastructure Quality Energy, water and material
Public transport
private spaces around the housing. supply,...
flows,...

NON-RESIDENTIAL SPACE
This element includes both buildings and spaces housing, that are needed by the neighbourhood's inhabitants. This
facilities and services, and activities in the industrial and category includes on the one hand public, social, cultural and
tertiary sectors which are present in the neighbourhood: leisure services and on the other hand public equipments.
PUBLIC EQUIPMENTS AND SERVICES: these equipments and PRIVATE SERVICES: they are also part of this category since
services contribute to social life by carrying information flows they have a function of proximity.
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INDUSTRIAL AND TERTIARY ACTIVITIES: they illustrate the
economic, industrial and commercial role of the neighbour-
hood. They might constitute the structural axis, such as textile
and mining industries have been in the past. The activities
might also represent attractive poles for the city or the conur-
bation (cultural, sportive or economic pole, …).
These two categories (equipments and services on one side,
and activities on the other side), have different range of
influence. The first category deals with equipments and
activities of proximity that might satisfy in priority the
neighbourhood's inhabitants. On the contrary, the second
category deals with equipments and activities that are in the
neighbourhood but that might satisfy the needs of the
2
inhabitants and users of the entire city or conurbation, or even
wider.
NON-BUILT SPACE
This element includes all the parts of the neighbourhood
which are not built even if they are not really natural: green
spaces, woods and all the natural areas. These spaces are
distinguished from the housing and from private green space
surrounding it (see above). In fact, they are mainly public open
spaces.
INFRASTRUCTURE
This includes all the technical infrastructure present in the
neighbourhood: roads, streets, pavements and networks
(electricity, gas, water, district heating, communication, …).

The analytical grid for the inventory and diagnosis

T
he analysis of a neighbourhood (inventory The principle of this grid is illustrated below.
and diagnosis) with a view to sustainable The analytical grid comes into action first within the inventory
development covers all fields of economic, of the case-study areas. For each of the 20 fields, an inventory
social and environmental concern, including checklist is prepared which sets up a framework guiding the
the participation of the inhabitants. The work in the case-study areas. The checklists provide an
neighbourhood inventory must be carried explanation of the understanding of sustainable development
out by inter-relating the different SD objectives for the specific field and a set of suggested questions
objectives and targets with the elements of the neighbourhood. to be answered and information to be collected during the
This cross-tabulation leads to the drawing up of an analytical inventory and diagnosis. These checklists are backed up by a set
grid consisting of 20 topics or fields. of SD key issues and SD indicators.
Residential space Non-residential space Non-built space Infrastructure

Sustainable renovation
of buildings for
sustainable neighbourhoods
Structure Use Structure Use Structure Use Structure Use

To reduce energy consumption and improve energy management 1

Heritage and

To improve water resource management and quality 2

resources

To avoid land consumption and improve land management 3

To reduce the consumption of materials and improve. ...
their management 4
To preserve and enhance the built and natural heritage 5

To preserve and enhance the landscape and visual comfort 6

To improve housing quality 7
environment

To improve cleanliness, hygiene and health 8

Local

To improve safety and risk management 9

To improve air quality 10
To reduce noise pollution 11
To minimise waste 12

To ensure the diversity of the population 13

Diversity

To ensure the diversity of functions 14

To ensure the diversity of housing supply 15

To increase the levels of education and jobs qualification 16

To improve access for all residents to all the services......
Integration

and facilities of the city by means of easy and......

non expensive transportation mode 17
To improve the integration of the neighbourhood in the city by......
creating living and meeting places for all the inhabitants of the city 18
To avoid unwanted mobility and to improve the......
environmentally sound mobility infrastructure 19
Social

To reinforce local governance 20

life

To improve social networks and social capital 21

Source: in progress table done by Foment de Ciutat Vella and CAATB (Spain) for Raval neighbourhood case study from an original concept of the HQE²R Project (http://hqe2r.cstb.fr)

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Participation - Governance
and dialogue - Empowerment by Philippe Outrequin, La Calade
Catherine Charlot-Valdieu, CSTB
and Celia ROBBINS, UWE

P
articipation is in the heart of the overall participation methods and practices, see the Deliverable 14
HQE²R methodology (see the scheme on that should be soon available on the web site)
page 1) as well as of the shared diagnosis After the inventory, a first draft of the diagnosis is developed.
method for sustainable development (see And in order to become a shared diagnosis for sustainable
the scheme on page 2). development, it has to be presented and discussed with
According the HQE²R approach, analysing residents and users (this step corresponds to the box
participation in a neighbourhood “dialogue” of the scheme on page 2). This part is very
regeneration project is done thanks to a HQE²R three important because the objective is to allow each actor to share
dimensional participation diagram: its way of seeing and understanding the neighbourhood (so
a first axis representing the different steps of that is why a first step about information is very important). A
participation, from coercion (action of force) to total agreement is not always possible but the diagnosis has to
cooperation (common decision taken by all the people be a moment of dialogue, discussion, thinking and proposals.
concerned in a project); The diagnosis can lead each actor to a better understanding
about other viewpoints. A common diagnosis is the first
a second axis for the project phases, from the
condition for an appropriation of the neighbourhood
identification of problems to monitoring;
policy by residents: participative democracy is above all a
and a third axis concerning the scope of participation matter of education.
both in term of time (short or long term) and of level
In our partner’s neighbourhood in Bristol and in their
of preoccupation (local or global issues).
inhabitants official structure (Community at Heart), SD
These three dimensions of participation are presented below. objectives, SD targets and their key issues (see the scheme on
At the early stages of a project, the priority is to inform the page 7), as well as their indicators, were discussed during the
community and gain a broad base of participation. The inventory and the diagnosis phases (cf Deliverable 8 available
appropriate methods are thus those that reach a large number on the web site). This participation process will be used for the
of people: dissemination of good quality information, discussion of scenarios and projects in a negociation process
awareness raising activities and events, surveys, public (empowerment step of the participation diagram). Such a way
meetings, participatory research. During the inventory, of working does not take off any power to elected people and
participation aims at informing on the one hand and to owners, but allows their final decisions to be better
knowing the needs, wishes and priorities of residents and understood by residents and users of the neighbourhood.
users on the other hand. (For further information on Social sustainability strats from the shared SD diagnosis.

THE THREE DIMENSIONS OF PARTICIPATION

PROJECT PHASES

Monitoring to long term

Implementation

From short term

Decisions To Global

Diagnosis
From Local

Identification
of problems

ion n nt
rc ion es
s
tio me t ion PARTICIPATION
e at n lta er ra
Co m re su ow e STEPS
f or a n p op
In Aw Co Em Co

Source: CSTB, La Calade

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From the shared diagnosis for
SD to local SD objectives, by Philippe Outrequin, La Calade
through stakes or priorities and Catherine Charlot-Valdieu, CSTB
for the neighbourhood
T
he neighbourhood "diagnosis" must be
structured on the basis of the overall SD
objectives defined in a general way, but
specifically adapted to the geographical
scale of the neighbourhood.
The definition of what is essential in the
neighbourhood is achieved by establishing a
"diagnosis". This "diagnosis" should analyse the prevailing
situation in the neighbourhood as well as its prospects for
change in relation to sustainable development objectives. These
SD objectives are global and general and should be applied to
all neighbourhoods. Then each city and neighbourhood should
seek to achieve these objectives in accordance with specific
procedures for each population and their economic, social, and
environmental context.
The diagnosis may come in the form of as many chapter
headings as there are major objectives. It must present:
the main conclusions of the neighbourhood inventory
for each of the four elements studied;
the strong points (potential) and the weak points
(dysfunctions) of the neighbourhood in relation to each
of the SD objectives and targets;
the coherence of the connexions with other
neighbourhoods (including the city centre);
the strategic points, appearing as the necessary leverage
to be applied: these define what the stakes are in the
neighbourhood, the main issues.
The diagnosis should also focus on the relationship between the
neighbourhood and the other neighbourhoods of the city.
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2
Indeed, a city may reach sustainability only if all its neighbour-
hoods regeneration projects achieved sustainable development.
During the analysis of a neighbourhood, we have to check if
actions envisaged are coherent with the development of the
other neighbourhoods and if they would not block some
strategic projects in other neighbourhoods of the city.
The local sustainable development objectives can be defined
only after first knowing or determining the sustainable
development “stakes” of the neighbourhood. These “stakes”
will allow to organise the problems in different hierarchical
levels in the short, medium and long term .
“Stakes” are the key questions or the indisputable points (so
rather different than the usual English word "priorities") that
will lead or not the neighbourhood to sustainable
development. They are defined at a given moment with regards
to the capacity of the different stakeholders (inhabitants, local
elected officials, municipal services, consultants, ...) to conceive
the future situation and to set an order of importance to the
causes of the different problems encountered.
Once these “stakes” identified, the local SD objectives, i.e.
specific objectives for the neighbourhood, are defined in
collaboration with all the actors concerned: residents, elected
people, municipal services, etc.
The third phase of the HQE²R methodology aims first at
developing different potential Actions Plans (scenarios) from
these local SD objectives. Then, thanks to their assessment
(with the 3 models used as decision aid tools), the best scenario
for the neighbourhood will be chosen and set up.
“The diagnosis should also focus on the
relationship between the neighbourhood and the
other neighbourhoods of the city.”
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The HQE²R sustainability circle
for neighbourhood regeneration projects*
5 SD objectives
21 SD targets
51 key issues

hqe2r.cstb.fr or hq2er.cstb.fr
The web site of the HQE2R Project. It
* HQE²R Project on an original idea aims at sharing information, in progress
by David Mowat of Community at work, results, etc. done in this project.
Heart, Bristol, United-Kingdom Public documents are available on the
site (newsletters, deliverables, etc.).

bib lio ne ws w e b z one www.ises.org

The web site of the largest organisation
in the field of research, utilisation and
promotion of renewable energy
Catherine Charlot-Valdieu, Philippe Outrequin, La méthode technology world-wide.
de diagnostic partagé de développement durable à l’échelle du quartier, It first took interest in solar energy but
Cahier HQE²R, July 2003 it now deals with sustainable issues.
www.urbact.org
The web site of the URBACT
Philippe Outrequin , Catherine Charlot-Valdieu & al., Programme which is part of the Community
Participation by residents and users: legal and regulatory context initiative URBAN. It aims at developing
and recommendations, HQE²R Deliverable 15, May 2003 transnational experiences of exchange
www.ecodallecitta.it
between the actors, cities ansd partners of
Italian web site of the news
the Programmes URBAN I, II and Urban
Catherine Charlot-Valdieu, Philippe Outrequin & al., State bulletin dealing with policies
Pilot Projects.
of the art review of indicators and systems of indicators, HQE²R and topics on environment in
Deliverable 9-Foundations, December 2002 Italian and European cities
Edition of a periodical
Newsletter.
Andreas Blum, HQE²R-Shared www.luda-project.org
diagnosis for sustainable neighbourhood The web site of the research project
development, ENHR Conference, LUDA of key action 4 “City of
www.euro.who.int
May 2003 Tomorrow and Cultural heritage” of
The web site of the World
the Fifth European Programme.
Health Organisation-Healthy
LUDA e-newsletter is edited by the
Ove Morck, Catherine Charlot-Valdieu, Laure Nagy, Cities Programme.
Institute of Ecological and Regional
Methods and tools for sustainable renovation of urban neighbour- Development (IOER, Germany)
Recent publication: “Healthy
hoods in the HQE²R Project, ISES Conference, June 2003 every three months.
Urban Planning”, SPON, 2003

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The Copenhagen Conference pictures
in the next issue 6th-7th March 2003
Participation: discussion upon
Soon the 4th Newsletter dealing with the 5 SD objectives and their 21 SD targets
the demonstration partners and their
neighbourhood projects:
Description
Diagnosis:
- strong and weak points
- priorities
SD profile with the INDI model
Scenarios and Actions Plan

THE HQE²R RESEARCH PARTNERS

CSTB Coordinator LA CALADE ICIE
http://www.cstb.fr http://www.la-calade.org http://www.icie.it
catherine.charlot-valdieu@cstb.fr la.calade@free.fr a.grossi@bo.icie.it
daniela.belziti@cstb.fr s.mattarozzi@bo.icie.it
laure.nagy@cstb.fr ITEC
http://www.itec.es
CAATB IOER
ngranado@itec.es
http://www.apabcn.es http://www.ioer.de
xavica@apabcn.es a.blum@ioer.de
AMBIT h.martin@ioer.de
ocusido@apabcn.es
http://www.ambit.nl
info@ambit.nl
QUASCO
CENERGIA UWE http://www.quasco.it
http://www.cenergia.dk martin.symes@uwe.ac.uk
http://www.uwe.ac.uk foresti@quasco.it
ocm@cenergia.dk celia.robbins@uwe.ac.uk COPRAT
marcus.grant@uwe.ac.uk direttore@quasco.it
coprat@tin.it
newsletter designed by Laure Nagy (CSTB) and Antonella Grossi, Marco Bertuzzi (ICIE), and printed by CSTB

SUSTAIN
SUSTAINABLE
ABLE RENOV
RENOVA TION
OF BUILDINGS
BUILDINGS
FOR SUSTAIN
SUSTAINABLE
ABLE
NEIGHBOURHOODS
Contract N. EVK4-CT-2000-00025

Coordinator : CSTB - Catherine CHARLOT-VALDIEU

Tel : + 33 (04) 93956708 - Fax : + 33 (04) 93956733
http: //hqe2r.cstb.fr or //hq2er.cstb.fr
e-mail : catherine.charlot-valdieu@cstb.fr
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